Associate, Equities Compliance, Compliance

CLSA; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

CLSA in Hong Kong seeks an experienced equities compliance professional to support Institutional Equities and Equities Derivatives coverage. You will advise on regulatory interpretation, monitor SMARTs, and respond to regulator inquiries while updating procedures and providing training to business units.

The role requires a post-graduate degree and 6+ years in financial services with strong analytical skills and bilingual English/Putonghua abilities.

Qualifications

• Post-graduate degree preferred with minimum 6 years’ relevant experience in financial services.
• Knowledge of SMARTs surveillance system, Professional Investor Rules, and China Connect Market trading.
• Strong analytical skills with high attention to detail and knowledge of order management systems.
• High level of numerical accuracy and strong attention to detail.
• Demonstrated ability to work as part of a team with ownership and initiative.
• Excellent interpersonal skills with English and Chinese (Putonghua).
• Proficient in Excel, Word and PowerPoint.

Responsibilities

• Provide advice on regulatory interpretation and compliance issues in the coverage area.
• Review SMARTs monitoring and identify opportunities for improvement.
• Conduct monitoring to assess ongoing compliance with key requirements.
• Handle regulatory enquiries, coordinating to ensure accurate regulator responses.
• Resolve compliance issues promptly to protect the company’s interests.
• Review and update compliance manuals and procedures as regulations evolve.
• Review input on new business initiatives from regulatory perspective.
• Support compliance training to business units to promote awareness.

Education

Post-graduate degree (preferred)

Minimum 6 years relevant experience

Compliance knowledge

Tools

Excel

Word

PowerPoint

Job description

Position Description

This position is part of the equities compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage for Institutional Equities (Sales and Trading) and Equities Derivatives departments.

Key Areas of Responsibilities

• Provide advice on regulatory interpretation and compliance issues in the coverage area

• Review SMARTs monitoring conduct by other officers and identify opportunities for improvement

• Conduct monitoring to assess the business’s ongoing compliance with key requirements

• Handle regulatory enquiries in a timely and effective manner, coordinating internally to ensure accurate responses are provided to regulator.

• Resolve compliance issues promptly, ensuring protection of the Company’s interests

• Review and update compliance manuals and procedures in response to applicable regulatory requirements, business changes and industry best practices

• Review and provide input on new business initiatives from regulatory and best practice perspective

• Support compliance training to business units to promote awareness and adherence to applicable requirements

Requirements

• Post-graduate degree is preferred with minimum of 6 years’ relevant experience in the financial services industry, preferably in Compliance, Internal Audit, and/or with an exchange or regulator.

• Knowledge of SMARTs surveillance system, Professional Investor Rules, trading requirements related to China Connect Market and Manual Trade

• Strong analytical skills, with a high level of attention to detail and knowledge of order management systems.

• High level of numerical accuracy and strong attention to detail

• Demonstrated ability to work effectively as part of a team; dependable, self-motivated, and possessing a strong sense of ownership.

• Excellent interpersonal skills with good command of written and spoken English and Chinese , including Putonghua

• Good Excel, Word and PowerPoint skills